# ROBERTO W ROFFO

ROBERTO W ROFFO is an investment adviser representative (IAR) with state registration records since 2013, appearing at 5 firms. Currently registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.

## Registration history (5)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED](https://search.stillhousedata.com/firm/7691) | 2024-10-08 | present | Yes |
| [SWBC INVESTMENT COMPANY](https://search.stillhousedata.com/firm/140994) | 2020-12-14 | 2024-03-04 | — |
| [BRAINTREE CAPITAL PARTNERS, LLC](https://search.stillhousedata.com/firm/148893) | 2017-02-13 | 2018-07-03 | — |
| [HERBERT J. SIMS CAPITAL MANAGEMENT, INC.](https://search.stillhousedata.com/firm/134510) | 2016-07-05 | 2018-07-03 | — |
| [ADVISORS ASSET MANAGEMENT, INC.](https://search.stillhousedata.com/firm/46727) | 2013-12-04 | 2014-07-30 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/4812356)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/4812356.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.